United States: Firms Settle FINRA Charges For Supervisory Violations On UIT Rollovers - Cadwalader, Wickersham & Taft LLP

Mondaq

20 Dec 2021 0 shares 1 views

Mondaq

Published 20 Dec 2021

Two affiliated broker-dealers settled FINRA charges for inadequate supervision of the "rollover" of investments in Unit Investment Trusts.

United States: Firm Settles SEC And CFTC Recordkeeping Violations From Use Of Personal Communications - Cadwalader, Wickersham & Taft LLP

Mondaq 28 Dec 2021

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to..